NMS Plans

We encourage the public to submit comments on the following National Market System (NMS) plans during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.

Chronological List Second Quarter | First Quarter

File Number Lists   File No. 4-443: Proposed NMS Plan for the Purpose of Developing and Implementing Procedures to Facilitate the Listing and Trading of Standardized Options to Add BOX Options Exchange LLC as a Sponsor   File No. 4-533: Proposed NMS Plan for the Selection and Reservation of Securities Symbols to Add BOX Options Exchange LLC as a Party Thereto   File No. 4-546: Proposed Options Order Protection and Locked/Crossed Market Plan to Add the BOX Options Exchange LLC as a Participant   File No. 4-551: Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2   File No. S7-966: Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2   Options Price Reporting Authority (OPRA)

Additional Archives

2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000

Chronological List

Release No.	Date	Details
Second Quarter
4-551
34-66975	May 11, 2012	Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE Amex LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the International Securities Exchange LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, the BOX Options Exchange LLC, NASDAQ OMX BX, Inc. and the NASDAQ OMX PHLX, Inc. Concerning Options-Related Market Surveillance Comments due:  June 8, 2012  Submit comments on 4-551
S7-966
34-66974	May 11, 2012	Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the BATS Exchange, Inc., BOX Options Exchange, LLC, the Chicago Board Options Exchange, Incorporated, C2 Options Exchange, Incorporated, the International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., the New York Stock Exchange LLC, NYSE Amex LLC, NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., and NASDAQ OMX PHLX, Inc. Concerning Options-Related Sales Practice Matters Comments due:  June 8, 2012  Submit comments on S7-966
4-546
34-66969	May 11, 2012	Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add the BOX Options Exchange LLC as a Participant Comments due:  June 7, 2012  Submit comments on 4-546
4-533
34-66957	May 10, 2012	Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add BOX Options Exchange LLC as a Party Thereto Comments due:  June 6, 2012  Submit comments on 4-533
4-443
34-66952	May 9, 2012	Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures to Facilitate the Listing and Trading of Standardized Options to Add BOX Options Exchange LLC as a Sponsor Comments due:  June 5, 2012  Submit comments on 4-443
First Quarter
SR-OPRA-2012-02
34-66564	Mar. 9, 2012	Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend OPRA's Fee Schedule Comments due:  April 6, 2012

File Number Lists

File No. 4-443: Proposed NMS Plan for the Purpose of Developing and Implementing Procedures to Facilitate the Listing and Trading of Standardized Options to Add BOX Options Exchange LLC as a Sponsor

Release No.	Date	Details
4-443
34-66952	May 9, 2012	Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures to Facilitate the Listing and Trading of Standardized Options to Add BOX Options Exchange LLC as a Sponsor Comments due:  June 5, 2012  Submit comments on 4-443

File No. 4-533: Proposed NMS Plan for the Selection and Reservation of Securities Symbols to Add BOX Options Exchange LLC as a Party Thereto

Release No.	Date	Details
4-533
34-66957	May 10, 2012	Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add BOX Options Exchange LLC as a Party Thereto Comments due:  June 6, 2012  Submit comments on 4-533

File No. 4-546: Proposed Options Order Protection and Locked/Crossed Market Plan to Add the BOX Options Exchange LLC as a Participant

Release No.	Date	Details
4-546
34-66969	May 11, 2012	Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add the BOX Options Exchange LLC as a Participant Comments due:  June 7, 2012  Submit comments on 4-546

File No. 4-551: Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2

Release No.	Date	Details
4-551
34-66975	May 11, 2012	Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE Amex LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the International Securities Exchange LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, the BOX Options Exchange LLC, NASDAQ OMX BX, Inc. and the NASDAQ OMX PHLX, Inc. Concerning Options-Related Market Surveillance Comments due:  June 8, 2012  Submit comments on 4-551

File No. S7-966: Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2

Release No.	Date	Details
S7-966
34-66974	May 11, 2012	Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the BATS Exchange, Inc., BOX Options Exchange, LLC, the Chicago Board Options Exchange, Incorporated, C2 Options Exchange, Incorporated, the International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., the New York Stock Exchange LLC, NYSE Amex LLC, NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., and NASDAQ OMX PHLX, Inc. Concerning Options-Related Sales Practice Matters Comments due:  June 8, 2012  Submit comments on S7-966

Options Price Reporting Authority (OPRA)

Release No.	Date	Details
SR-OPRA-2012-02
34-66564	Mar. 9, 2012	Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend OPRA's Fee Schedule Comments due:  April 6, 2012

http://www.sec.gov/rules/sro/nms.shtml